DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
R•••••••• C•••••• M••••••••• L•••
Latest filing Mar 31, 2026
First filing on the tape Feb 14, 2012 · 24 filings
SEC status approved since Mar 30, 2012
RAUM
$6.2B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
51
28 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
14
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$6.2B as of Mar 31, 2026
Mar 21, 2013$984M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 21, 20130 then
Employees (5.A)51 as of Mar 31, 2026
Mar 21, 201320 then
Private funds14 as of Mar 31, 2026
Mar 21, 20133 then
RAUM -1.5% over the last fiscal year+3.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $440MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$6.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
20 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••••••• C•••••• P••••••• I• L••• | Private Equity Fund | $1.5B | 113 | Mar 27, 2014 |
| R•••••••• C•••••• P••••••• I•• L••• | Private Equity Fund | $1.1B | 119 | Mar 25, 2019 |
| R• C••••• H••••••• L••no longer reported | Private Equity Fund | $841M | 7 | Mar 30, 2015 |
| R•••••••• C•••••• P••••••• I• L••• | Private Equity Fund | $778M | 72 | Mar 30, 2022 |
| R•••••••• C•••••• P••••••• I• •••••••• • A• L••• | Private Equity Fund | $563M | 80 | Mar 30, 2022 |
| R•••••••• C•••••• P••••••• I• •••••••• • B• L••• | Private Equity Fund | $383M | 2 | Mar 27, 2014 |
| R•••••••• C•••••• P••••••• I•• •••••••• • B• L••• | Private Equity Fund | $366M | 2 | Mar 25, 2019 |
| R•••••••• C•••••• P••••••• I• •••••••• • B• L••• | Private Equity Fund | $318M | 2 | Mar 31, 2023 |
| R•••••••• C•••••• P••••••• L•••• I• L••• | Private Equity Fund | $304M | 40 | Mar 31, 2023 |
| R•••••••• C•••••• P••••••• L•••• L••• | Private Equity Fund | $260M | 29 | Mar 25, 2019 |
| R•••••••• C•••••• P••••••• I•• •••••••• • A• L••• | Private Equity Fund | $220M | 3 | Mar 31, 2021 |
| R•••••••• S•••••••• L••• | Private Equity Fund | $186M | 5 | Mar 31, 2021 |
| R•••••••• C•••••• P••••••• L••• | Private Equity Fund | $49.8M | 126 | Feb 14, 2012 |
| R•••••••• C•••••• L••no longer reported | Private Equity Fund | $47.2M | 50 | Mar 30, 2015 |
| R•••••••• C•••••• V••••••• L•••no longer reported | Venture Capital Fund | $23.5M | 27 | Mar 30, 2015 |
| R•••••••• C•••••• P••••••• •••••••• • B• L••• | Private Equity Fund | $22.2M | 2 | Feb 14, 2012 |
| R•••••••• C•••••• P••••••• •••••••• • A• L••• | Private Equity Fund | $19.3M | 2 | Feb 14, 2012 |
| R••• H••••••• L•••no longer reported | Private Equity Fund | $244,534 | 2 | Mar 30, 2015 |
| R•••••••• C•••••• S••••• H••••••• S••••••• | Private Equity Fund | $65,817 | 7 | Mar 30, 2015 |
| R• L•• H••••••• L••no longer reported | Private Equity Fund | $63,578 | 6 | Mar 30, 2015 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• D••••••• F•••••••• · Shareholder, Managing Partner, Directorcontrolsince 12/2017 · owns 50% to 75% of R•••••••• C•••••• M••••••••• L•••
- P••••• J••••••• T••••• · Shareholder, Managing Partner, Directorcontrolsince 12/2017 · owns 50% to 75% of R•••••••• C•••••• M••••••••• L•••
- A•••••• D••••••• F•••••••• · Limited Partnersince 12/2017 · owns 25% to 50%
- J••••••• K••••• L••••••• · Chief Financial Officersince 08/2023 · owns less than 5%
- P••••• J••••••• T••••• · Limited Partnersince 12/2017 · owns 25% to 50%
- W•••• L•••• L• · Chief Compliance Officersince 01/2015 · owns less than 5%
- A•••••• D••••••• F•••••••• · Limited Partnersince 07/2020 · owns 25% to 50% of R•••••••• G• F•••••••• F••••• L•••
- A•••••• D••••••• F•••••••• · Limited Partnersince 12/2021 · owns 50% to 75% of R•••••••• I• G• H••••••• F••••• L•••
- P••••• J••••••• T••••• · Limited Partnersince 07/2020 · owns 25% to 50% of R•••••••• G• F•••••••• F••••• L•••
- P••••• J••••••• T••••• · Limited Partnersince 12/2021 · owns 50% to 75% of R•••••••• I• G• H••••••• F••••• L•••
Entity owners
- R•••••••• C•••••• M••••••••• L••• · General Partnerdirect · owns less than 5%
- R•••••••• G• F•••••••• P•••••• L•• · General Partnerindirect · owns F of R•••••••• G• F•••••••• 2• L•••
- R•••••••• I• G• H••••••• P•••••• L•• · General Partnerindirect · owns F of R•••••••• I• G• H••••••• 2• L•••
- R•••••••• G• F•••••••• 2• L••• · Special Partnerdirect · owns 5% to 10%
- R•••••••• I• G• H••••••• 2• L••• · Special Partnerdirect · owns 5% to 10%
- R•••••••• G• F•••••••• F••••• L••• · Limited Partnerindirect · owns 75% or more of R•••••••• G• F•••••••• 2• L•••
- R•••••••• I• G• H••••••• F••••• L••• · Limited Partnerindirect · owns 75% or more of R•••••••• I• G• H••••••• 2• L•••
Related persons
Schedule D 7.A
- R•••••••• C•••••• I• L•••pooled vehicle sponsorn
- R•••••••• C•••••• I•• L•••pooled vehicle sponsorn
- R•••••••• C•••••• I• L•••pooled vehicle sponsorn
- R•••••••• C•••••• L•••pooled vehicle sponsorn
- R•••••••• C•••••• L•••• I• L•••pooled vehicle sponsorn
- R•••••••• C•••••• L•••• L•••pooled vehicle sponsorn
- R••• C•••••• A••••••••• E• I••••••••• L••••investment advisern
Advisers that list R•••••••• C•••••• M••••••••• L••• as a related person
- 270025 n
Offices
Schedule D 1.F, the 25 largest
- New York, NY6 employees
- Aventura, FL4 employees
What changed
consecutive filings, newest first
- Advisory employees · 30 to 28Sep 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $6.1B to $6.0BSep 26, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $177M to $214MSep 26, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $6.3B to $6.2BSep 26, 2025 to Mar 31, 2026
- RAUM · $6.3B to $6.2BSep 26, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 7, 2025
- Advisory employees · 28 to 30Jan 7, 2025 to Mar 31, 2025
- Discretionary RAUM · $5.8B to $6.1BJan 7, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $186M to $177MJan 7, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $6.0B to $6.3BJan 7, 2025 to Mar 31, 2025
- RAUM · $6.0B to $6.3BJan 7, 2025 to Mar 31, 2025
- Accounts · 15 to 14Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 15 to 14Mar 31, 2023 to Mar 29, 2024
- Private funds · 15 to 14Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $5.4B to $5.8BMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $219M to $186MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $5.6B to $6.0BMar 31, 2023 to Mar 29, 2024
- RAUM · $5.6B to $6.0BMar 31, 2023 to Mar 29, 2024
- Accounts · 13 to 15Mar 30, 2022 to Mar 31, 2023
- Advisory employees · 25 to 28Mar 30, 2022 to Mar 31, 2023
- Pooled vehicle clients · 13 to 15Mar 30, 2022 to Mar 31, 2023
- Employees · 45 to 51Mar 30, 2022 to Mar 31, 2023
- Private funds · 13 to 15Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $5.8B to $5.4BMar 30, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $141M to $219MMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $5.9B to $5.6BMar 30, 2022 to Mar 31, 2023
- RAUM · $5.9B to $5.6BMar 30, 2022 to Mar 31, 2023
- Accounts · 12 to 13Oct 8, 2021 to Mar 30, 2022
- Advisory employees · 22 to 25Oct 8, 2021 to Mar 30, 2022
- Pooled vehicle clients · 12 to 13Oct 8, 2021 to Mar 30, 2022
- Employees · 34 to 45Oct 8, 2021 to Mar 30, 2022
- Private funds · 12 to 13Oct 8, 2021 to Mar 30, 2022
- Discretionary RAUM · $4.2B to $5.8BOct 8, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $93.4M to $141MOct 8, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $4.3B to $5.9BOct 8, 2021 to Mar 30, 2022
- RAUM · $4.3B to $5.9BOct 8, 2021 to Mar 30, 2022
- Related adviser · false to trueOct 8, 2021 to Mar 30, 2022
- Other offices · 2 to 3Mar 31, 2021 to Oct 8, 2021
- Accounts · 10 to 12Mar 27, 2020 to Mar 31, 2021
- Advisory employees · 20 to 22Mar 27, 2020 to Mar 31, 2021
Signals
5 dated events
- R•••••••• C•••••• M••••••••• L••• reported RAUM $5.9B, up 37% from $4.3B (2021-10-08 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Peter Christopher Varelas (Shareholder, Managing Partner, Director) no longer on Schedule A of R•••••••• C•••••• M••••••••• L••• (listed 2021-03-31, absent 2021-10-08)Oct 8, 2021 · Control person left · inference
- J Thomas Smach (Shareholder, Managing Partner, Director, Chief Financial Officer) no longer on Schedule A of R•••••••• C•••••• M••••••••• L••• (listed 2021-03-31, absent 2021-10-08)Oct 8, 2021 · Control person left · inference
- R•••••••• C•••••• M••••••••• L••• reported RAUM $4.3B, up 36% from $3.2B (2020-03-27 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- R•••••••• C•••••• M••••••••• L••• reported RAUM $2.6B, up 54% from $1.7B (2018-03-30 to 2019-03-25)Mar 25, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- R•••••••• C•••••• M••••••••• L••• · Independent Sponsorsshared crd · capital_provider
- R•••••••• C•••••• M••••••••• L••• · Private Equityshared crd · organization
- R•••••••• C•••••• M••••••••• L••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- R••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 650-618-7300reportedpublic record, Form ADV, Mar 31, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026